DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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Former SEC-registered adviser
H••••••• A••••••••• I•••
Latest filing Mar 20, 2015
First filing on the tape Mar 27, 2012 · 5 filings
RAUM
$579M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
12
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$579M as of Mar 20, 2015
Mar 27, 2012$409M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 20, 2015
Mar 27, 20120 then
Employees (5.A)12 as of Mar 20, 2015
Mar 27, 201310 then
Private funds: no history
RAUM +1.9% over the last fiscal year+12% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 20, 2015; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $834,461derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +1.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, publicationsreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 694reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- M••• P••••• to A••••••••• L••Jan 4, 2016 · Other
- M•••• D• R••• to A••••••••• L••Jan 4, 2016 · Other
- M•••••• R••• A•••• to A••••••••• L••Jan 4, 2016 · Other
- L•••• K••• K••••••• to A••••••••• L••Jan 4, 2016 · Other
- A••••• C•••••• R•••••• to C•••••••• W••••• A•••••••Aug 2, 2011 · Other
- M••• R••••• R••••• to C•••••••• W••••• A•••••••Aug 2, 2011 · Other
- C•••••• F•••••••• C••••••••• to A•• I••••••••• M•••••••••Dec 8, 2008 · Other
Joined, latest
- M•••• D• R••• from E••••• J••••Mar 26, 2014 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 4 left for A••••••••• L••Jan 4, 2016 · Solana Beach, Ca · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••• M••••••• J••• · Chief Compliance Officercontrolsince 08/2011 · owns less than 5%
- H•••••••• N•••• C•••••• · Presidentcontrolsince 06/1997 · owns 75% or more
- K•••••••• L••••• K••• · Director Of Client Servicescontrolsince 06/2009 · owns 10% to 25%
- P•••••• M••• · Vice President, Portfolio Managercontrolsince 11/2001 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 411 to 694Mar 17, 2014 to Mar 20, 2015
- Employees · 11 to 12Mar 17, 2014 to Mar 20, 2015
- Discretionary RAUM · $568M to $579MMar 17, 2014 to Mar 20, 2015
- RAUM · $568M to $579MMar 17, 2014 to Mar 20, 2015
- Accounts · 376 to 411Jun 19, 2013 to Mar 17, 2014
- Employees · 10 to 11Jun 19, 2013 to Mar 17, 2014
- Discretionary RAUM · $486M to $568MJun 19, 2013 to Mar 17, 2014
- RAUM · $486M to $568MJun 19, 2013 to Mar 17, 2014
- Accounts · 346 to 376Mar 27, 2012 to Mar 27, 2013
- Advisory employees · unset to 3.0Mar 27, 2012 to Mar 27, 2013
- Employees · unset to 10.0Mar 27, 2012 to Mar 27, 2013
- Discretionary RAUM · $409M to $486MMar 27, 2012 to Mar 27, 2013
- RAUM · $409M to $486MMar 27, 2012 to Mar 27, 2013
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026